Overview of the FY 05 Pre-Disaster Mitigation (PDM) Grant Program: A Sub-applicant Briefing

1. Overview of the FY 05 Pre-Disaster Mitigation (PDM)Grant Program:A Sub-applicant Briefing Presented by Kent Baxter Senior Mitigation Specialist Denton, TX The Department of Homeland Security Federal Emergency Management Agency, Region VI

2. Agenda • Program History and Guidance Overview • Review of FY05 Project Sub-Application • The Application Process • FEMA’s e-Grant Application System • Conclusions Kent Baxter

3. A Note to Remember Sub-applications which are… • Eligible projects from eligible sub-applicants • Supported by strong technical merits, including a documented and technical accurate Benefit Cost Ratio • Provide enough information to prove they can be technically be accomplished • Complete, accurate, and polished …will have the strongest chance of being selected Kent Baxter

4. Program Historyand Overview A look back at FY03 Funding and the FY05 Program

5. Pre-Disaster Mitigation (PDM)Grant Program - Introduction • Authorization: The Stafford Act, as amended by the Disaster Mitigation Act of 2000 • Purpose: To assist states and communities to implement a sustained pre-disaster natural hazard mitigation program to: • Reduce the overall risk to population and structures • Reduce the reliance on Federal Funding from disasters • Availability: • Consistent form of annual mitigation funding • Available for all States to apply • Not tied to a disaster declarations or disaster history Kent Baxter

6. Basic Differences: HMGP vs. PDM Kent Baxter

7. FY03 PDM Nationally • Total of $150 million appropriated • $13,909,00 released under PDM Planning Grants • State Allocations of $248,375 • 459 sub-application submitted nationwide • $373.059,364 (325 project, 134 plans, 36 Mgmt Costs) • 244 sub-application selected • 215 unsuccessful sub-applications totaling $249 million ($245.5 million in projects, $3.4 million in planning) Kent Baxter

8. FY03 PDM in Region VI • 63 sub-applications submitted • 19 sub-applications awarded totaling $14,175,783 • Projects • 9 community safe rooms • 14 residential elevations • 81 residential acquisitions • Plans • 42 local mitigation plans • 1 State Plan • 2 State Management Costs Kent Baxter

9. FY05 PDM General Information • Program will be merged year program (FY 04 & 05) • Approximately $255 million available • Disaster Resistant University will be inserted • No State allocations • Awards based on National competition • Mitigation Planning, Mitigation Projects and State Mgmt. Costs • Cost Share is up to 75% Federal share (up to 90% for small, impoverished communities) • Share must be from non-Federal sources • Up to $3 million Federal Share per project • Performance periods up to 3 years • Management costs up to 10% Applicant, 5% Sub-Applicant Kent Baxter

10. Cost Share Information • Up to 75% Federal Cost Share in most cases • 25% match can be made as cash or in-kind sources • Exception is Small, Impoverished Community • Up to 90% Federal Cost Share • Must meet qualifications as listed in guidance • Population: 3,000 or less • Economically Disadvantaged: Per capita annual income at 80% or less of national average • Unemployment Rate: At least 1% above yearly national unemployment rate • All must be well documented and justified Kent Baxter

11. Applicant and Sub-applicant Eligibility • Applicant Eligibility • State, Tribal, or Territorial Emergency Management • Sub-Applicant Eligibility • State-level agencies, including State Universities • Tribal governments (Federally recognized) • Local governments • State Universities • Private Non-Profits (PNPs) and Private Universities must apply through relevant local government or State Agency • Sub-applicants having identified Special Flood Hazard Areas, they must be participating (in good standing) in the National Flood Insurance Program Kent Baxter

12. NFIP Participation Requirement • Sub-applicants are required to participate in the NFIP if they were identified through the NFIP as having a Special Flood Hazard Area • A Flood Hazard Boundary Map or Flood Insurance Rate Map was issued • The Applicant/Sub-applicant cannot be on probation, suspended or withdrawn from NFIP • Sub-applicants that are not mapped or due not have floodplains in their community remain eligible, even if they are not in the NFIP Kent Baxter

13. Mitigation Plan Requirement • For all project grants, local communities must have a FEMA approved mitigation plan to be awarded funds • This requirement does not prohibit communities from applying for project sub-application • For communities which do not have an approved plan, this plan must be approved prior to the project being selected. • This date has been established at May 1, 2005 • FEMA reviews all local plans to the Interim Final Rule on Mitigation Planning (44 CFR 201.6) • Sub-applicants are encouraged to complete their plans and submit them to the States within the next 2 months Kent Baxter

14. Eligible Sub-applicant Activities • Mitigation Planning (no BCA needed) • Single, Countywide or multi-jurisdictional • Mitigation Projects (with BCA) • Voluntary Property Acquisition and/or relocation • Safe Rooms (meeting FEMA construction criteria) • Structural and non-structural retrofitting • Wildfire, seismic, wind, or flood hazard (elevation) • Minor structural hazard control • Vegetation management and stormwater management • Localized flood control projects • designed to protect critical facilities • Sub-applicant Management Costs up to 5% • Pre-award costs are eligible, i.e. BCA & environmental documentation Kent Baxter

15. Ineligible Sub-applicant Activities • Major flood control projects • Projects which address ecological issues (insect forest mgmt.) • Warning or Alert Systems • Phased or partial projects • Flood studies or mapping • Dry flood proofing on residential structures • Generators and related equipment for non-critical facilities • Demolition/Rebuild • Engineering designs, Feasibility Studies, and Drainage Studies not integral to the proposed project • Projects that affect man-made hazards • Response and communication equipment • Information Dissemination Kent Baxter

16. Review of the FY 2005 Project Sub-Application A Walk-Through

17. Applicant Information Contact Information Community Information Mitigation Plan Information Mitigation Activity Information Hazard Information Scope of Work Property Information Decision-Making Process Cost Estimate Match Sources Cost-Effectiveness Information (BCA) Environmental/Historical Preservation Documentation Maintenance Schedule Evaluation Information Assurances & Certifications FY05 Sub-application Information Requirements Kent Baxter

18. 1. Applicant Information • Same information that is needed to completed a Federal Form 424 “Request for Federal Assistance” • Name of Applicant • Use search button to find your community • U.S. Congressional District (where project is) • State Tax Number • Federal Tax Number • Federal Employer Identification Number (EIN)* • DUNS Number?* www.ccr.gov • Are you the application preparer? • PDM is not covered by Executive Order 12372 Process Kent Baxter

19. 2. Contact Information • Primary Contact Info (who will manage sub-grant) • First Name, Middle Initial, Last Name • Your Title, • Agency/Organization • Address, City, State, and ZIP • Phone, Fax, and email • Alternate Contact Info (repeat of above info) Kent Baxter

20. 3. Community Information • Use “Find Community” radio button to auto-fill information • County Code, CID #, CRS, CRS Rating, State Legislative District, U.S. Congressional District, etc. • Community Profile Narrative • Identify population of the entire community and/or population of the area benefiting from the proposed activity. • Describe the geographic area, and the intensity of development • Describe any special population in your community • Describe significant industry or business in your community • Include information that you believe would be important Kent Baxter

21. 4. Mitigation Plan Information • Status of your mitigation plan • Exact name, type, and approval date • Suggest attaching approval letter • If your community does not have a current FEMA approved multi-hazard mitigation plan please answer the following. • Do you have any other mitigation plans adopted in your community? • If Yes, please provide the following information: • Plan Name, Plan Type (FMA, CRS, Rep Loss) • Comment field provided Kent Baxter

22. 5. Mitigation Activity Information • What type of activity are you proposing? • Variety of categories of project in Appendix A • Title of your proposed activity • Ensure that you title your project with your community name and what will be done • E.g. City of Hazardsville Safe Room Project • Will your community or a contractor be performing the project? Kent Baxter

23. 6a. Hazards Information • Describe the problem to be mitigated. • Include the geographic area in your description. • Describe what is the problem, what floods, who is in danger, where the danger is located • Include latitude and longitude coordinates for the project. • Accuracy should be to 20 +/- meters (64 feet) • Hazards to be mitigated • Flood, Tornado, Hurricane, etc. Kent Baxter

24. 6b. FIRM Information • FIRM stands for Flood Insurance Rate Map • The importance of this page is to determine if the project is within the 100-year floodplain • Questions concern map available, whether it is in a floodplain, and what flood zone it is in. • Contact your Community’s Flood Plain Administrator to review FIRMs relative to project • View FIRMs online at FEMA Flood Map Store at http://store.msc.fema.gov • Provide electronic copy of FIRM Map from FEMA or a scanned copy of the map • Map must provide a clear representation of where the project is, plus include the title page Kent Baxter

25. Hilton Hotel 925 South University Little Rock, AR Kent Baxter Generated online at the FEMA Map Store http://store.msc.fema.gov/

26. 7. Scope of Work • Provide a scope of work (program narrative) on what exactly you will be doing • Good scopes of work include: • What is the need for the project • What problems will it address • Goals • Explain what you want to achieve • Objectives • Specific and measurable steps implementation steps and strategies • Implementation Methods/Designs/Actions Kent Baxter

27. 8. Scope of Work continued: Engineering Feasibility • Projects must be technically feasible and effective at mitigating the hazard(s) for which the project was designed • Engineering design must conform with accepted engineering practices • Estimated costs must be consistent with the defined Scope of Work and accepted cost estimating principles • Providing attached plans, reports, maps, etc. are preferred • Large plans or drawings may be submitted in hardcopy through the State to FEMA Kent Baxter

28. Attach Maps or Studies as Appropriate Plat Map Aerial Map Street Map Pertinent Studies Kent Baxter

29. 9. Work Schedule • Include a schedule of your proposed work • Best work schedules give quarterly results • For a 3-year grant, at least 12 items • Provide them in chronological order • Work schedules should demonstrate that you know what you are doing • That you have a grip on the complexities • That you have a plan for completion • That you can achieve what you are asking funding for Kent Baxter

30. 10. Property Information • If the project is affecting properties, such as an elevation, acquisition, or development of a safe room, provide the required information for each property. • Information needed will include • Property Information 1 • Ownership, Address, structure type, foundation, value, Lat/Long, NFIP Policy Number, Repetitive Loss Number,etc. • Property Information 2 – Effects of Hazard and Actions • BFEs, Elevations, Flood zone, Mitigation Action, etc. • Photographs of structure and a site map are preferred to assist evaluators in visualizing the project • Enter data only once, it will auto-fill later in sub-application • Ability to enter numerous properties • Alternate properties must be submitted with applications • BCAs must be performed for each property Kent Baxter

31. 11. Decision-Making Process • Describe the process you used to decide that this project is the best solution to the problem • How did you arrive at this solution? • Study, report, mitigation plan, planning team consensus • Are you addressing the problem or a symptom? • Is this a short-term or long-term solution? • Provide alternatives that might be considered • One may be your stated process and why it is favorable (merits) • One may be do nothing and explain why this is unfavorable • One should describe a different approach, and explain why this is unfavorable • Give reasons why the alternatives are not acceptable • Cost, loss of functionality, displacement of residents, etc. Kent Baxter

32. 12. Cost Estimate • This is the justification for the amount of money that you are requesting • You must include • Item Name, quantities, units of measurement, costs, and a cost estimate • All are drop-down menus in e-Grants • Ensure that your attach any requests for pre-award costs here • Pre-Award costs might include funding spent on Benefit-cost, Environmental compliance, etc. • Ensure that you ask for as much as 5% local management costs, as applicable, as a line item. • Program has no cost overruns – you are tied to the money you request Kent Baxter

33. 13. Match Sources and Funding • Adjust from 75/25 or 90/10 if small and impoverished community • Attach source document to justify this information • Info from State Labor Dept or Economic Development • For Matching Funds • Agency, Funding Type, Amount • Attach a source documentation letter from your community which demonstrates (from someone in authority) that the match can be met and where it is coming from • General Revenue, Bond Money, CDBG Grant, ORCA, etc. Kent Baxter

34. 14. Cost Effectiveness • The most important component of a eligible project, the Benefit-Cost Analysis (BCA) • For every dollar spent, there must be at least a dollar benefit • Total Net Present Value of the Project / Total Cost of the Project = Benefit-Cost Ratio (Must be at least 1.0 or better) • FEMA has produced a series of BCA modules for making this determination • Contact your State or the BCA Hotline at 866-222-3580 to order a copy of the “BC Toolkit” CD Kent Baxter

35. 14. Cost-Effectiveness (continued) The Benefit-Cost Analysis • Damage costs • Building assessment/contents • Potential Damage (derived from real damage and future risk) • Benefits – (avoided losses) • Calculation of project cost vs. the losses avoided over the life of the project • Data necessary: • Frequency/Severity • Cost of benefits – or cost of avoided losses • Cost of project • 42% of the sub-application’s score will be based on the BCA Kent Baxter

36. 14. The BCA Toolkit CD-Rom • Replaces Toolkit Version 1.0 • Contains BCA Tools • Checklist • Data Documentation Tools • Training slides and Case studies • Updated BCA Software for: • Flood, Earthquake, Wildfire, Tornado, Hurricane, etc. • Order at 866-222-3580 Kent Baxter

37. 15. History of Past Events • For past events and damage, provide • Dates • Events • Description of Damages • Amount of Damage $ • This will be information that you need to collect for your BCA • Contact NWS, Planning District, Floodplain Administrator, County Engineer, Newspapers, State Emergency Management to research this information • Research for your local mitigation plan may already provide some of this information Kent Baxter

38. 16. Environmental and Historic Compliance • FEMA is responsible to ensure that all Federal laws, regulations, and Executive Orders are met • Sub-application questions are for screening purposes, they are not the environmental clearance • For any of the Laws, Executive Orders, or NEPA, provide honest answers • If your answer indicates potential effects, you will need to request a consultation letter from the Federal and/or State Agency with this authority • Briefly describe project that you are proposing • Provide property address(es), maps, photos • Request that consultation comments be issued • In application, attach copies of letters you send to any of these agencies Kent Baxter

39. Attach Photos as Appropriate View of Culvert View of Culvert Opposite View Upward Of Culvert Downward Of Culvert Kent Baxter

40. 17. Maintenance Costs • It is important that you identify short and long-term maintenance costs that will affect the project and that you are willing to pay for this • Provide a maintenance schedule including cost information • Identify entity that will perform any long-term maintenance • Attach letter from entity accepting performance responsibility Kent Baxter

41. 18. Evaluation Information • Provide expanded narratives for this four-part reporting • Part 1: Participation in codes and mitigation programs (CRS, Firewise Community, Building Codes, etc.) • Part 2: Explanation of objectives, expectations, project management and staffing resources • Part 3: Partnering and outreach • Part 4: Population benefiting and critical facilities • Last year, some communities answered poorly or did not choose to answer at all Kent Baxter